Brokerage Trading Compliance Advisor

Vanguard is seeking an innovative and knowledgeable compliance professional with experience in compliance/risk/control or securities trading to join its Compliance team. This individual will advise on regulatory compliance matters and support varying projects for the Retail division, with a particular emphasis on retail brokerage trading.

Our ideal candidate will have an established understanding of retail brokerage products, trading/trade reporting, the brokerage client experience, and the associated regulatory landscape.

Our must haves:

  • Possess a broad knowledge of broker-dealer operating and trading practices, including specific rules and industry practices
  • Ability to identify, analyze and troubleshoot issues that may lead to compliance violations
  • Resolve compliance related issues raised by stakeholders and provide regulatory advice in a manner that is easily understood and actionable by project teams
  • Be a confident communicator who can clearly articulate complex issues to different audiences, including business partners and regulators
  • Embrace the role of key point person and subject matter expert for various core broker-dealer departments, with an emphasis on brokerage trading and operations
  • Suggest progressive and innovative ideas to enhance the retail trading compliance framework and associated policies and procedures in a complex and dynamic regulatory environment
  • Remain current and informed about the evolving industry landscape as it relates to areas of responsibility including best practices, proposed rules and the adoption of final rules
  • Be a self-starter and strong self-manager who can prioritize and complete multiple projects simultaneously
  • Build and grow relationships with business partners and peers in other lines of defense roles
  • Undergraduate degree or equivalent experience
  • Minimum five (5) years business experience. Experience in compliance/risk/control or brokerage trading preferred.
  • Series 7, 24 and 63 licenses or willingness to obtain within 90 days after hire.

Our ideal candidate will also:

  • Be adept at understanding 'current state' and proposing new ways to evolve processes in a manner that keeps the firm compliant with various FINRA, SEC and state and federal requirements
  • Be comfortable challenging the established way of doing things
  • Stay updated and informed on evolving industry practices and approaches to modern compliance
  • Provide input towards the development of compliance testing programs
  • Provide strategic points of view and ensure that business risks taken are well known and understood by senior leaders
  • Have a broad understanding of client service models in the broker-dealer industry
  • Display excellent relationship management skills, including ability to interact with individuals at various levels internal and external to the company
  • Have a demonstrated ability to function in a fast-paced, ambiguous environment while managing multiple projects and diverse responsibilities
  • Have a proven ability to develop and implement new business plans or change direction in a dynamic environment
  • Display excellent judgment and decision-making skills; ability to analyze and respond to issues
  • Have familiarity with and experience in using relevant broker dealer systems and applications, as applicable
  • Possess excellent verbal and written communication skills

Special Factors

If you are offered and accept this position, and you do not have the necessary FINRA licenses for the role, then you must obtain the required licenses within the specified period of time. Additionally, if you are not currently registered with FINRA in any capacity, prior to moving into this licensed role, you will be asked to provide authorization for Vanguard to conduct a credit and criminal check in accordance with the FINRA regulations. Please note, the credit and criminal check requirement does not apply to crew who are currently registered with FINRA. Please reference the following article with regard to the licensing requirements of this position.

Vanguard is not offering visa sponsorship for this position.

The position is considered a "Fund Access Person" position under Vanguard's Code of Ethics (See CrewNet); some travel, for trainings, seminars and global coordination, may be required; and, crew holding FINRA licenses (e.g., FINRA series 6, 7, 26, 24, etc.) will be permitted to retain them.


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